Research Grants Administration Policies
Purpose and Overview
The purpose of this policy is to inform and provide guidance for sponsored research and related programs carried out by faculty and staff of Upstate Medical University (Upstate) that are administered by the Research Foundation of the State University of New York (Research Foundation), with the exception of funds originating as appropriations from the New York State Legislature.
By resolution of the Board of Trustees of the State University of New York and by a contractual relationship with State University of New York, the Research Foundation is designated as fiscal agent for all research and research-related programs, including training programs and international technical assistance activities, from funds other than New York State appropriations. All commitments between a sponsor and a project director (or principal investigator) must be approved by the Research Foundation.
General policy concerning the administration and conduct of research and research-related activities at Upstate is established by the Vice Provost for Research.
Proposals which involve use of human subjects, live vertebrate, ionizing radiation, recombinant DNA, or radioactive materials, among other special activities, must be reviewed and approved by the appropriate faculty committee, as mandated by Federal or State legislation.
Final approval of fiscal commitments in the proposal is given by the Vice President for Finance and Management or his designee.
For proposals submitted through or awards administered by the Research Foundation, the Vice President for Finance and Management serves both as the Foundation's Fiscal Designee and Endorsing Designee.
The Research Foundation
The Research Foundation of State University of New York administers gifts, grants and contracts supporting extramurally-sponsored research and related programs carried out by Upstate faculty members and staff.
The Research Foundation is a private, nonprofit, educational corporation. The Foundation's administrative, procurement, and employment procedures are designed specifically to meet the needs of Upstate's sponsored programs.
Information regarding the Research Foundation and Foundation-administered programs may be obtained from the Sponsored Programs Office, the local office of the Research Foundation on the Upstate campus, 1166 Weiskotten Hall.
Applying for Extramural Support for Research and Related Activities
Obtaining Forms and Guidelines
The award of extramural, or outside grant or contract funds, in support of
research and related activities is customarily based upon formal application
from the faculty member who will serve as Project Investigator/Director (PI/PD).
Applications for support can be submitted in response to a specific Program
Announcement (PA) or Request for Applications (RFA) or can be initiated by the
PI/PD. At the onset, PI/PDs should contact officials of the sponsoring agency
to determine if their proposal lies within the current areas of interest of
the sponsor. If so, the sponsor, particularly larger granting agencies, will
supply detailed guidelines and forms for the preparation and submission of applications.
These forms and guidelines will be made available in print and/or on line. Extramural
sponsor forms and guidelines can be obtained online (FORMS) or in the Research Development and
Sponsored Programs Offices.
Preparing an Application for Extramurally Sponsored Research or Related Activities
The Research Administration Office at Upstate is available to assist with the identification of funding opportunities and the development of an application. The Research Development Office provides funding opportunity information and conducts searchers to identify sponsors with funding opportunities tailored to specific research and program needs. The Sponsored Programs Office provides consultation and guidance regarding the preparation of applications and will also serve as the liaison to sponsoring agencies. Faculty members are encouraged to contact the Sponsored Programs Office regarding their intent to submit an application for extramural support prior to preparing the application. Since some sponsors limit the number of applications they will accept from an institution, notifying the Sponsored Programs Office of your intent to apply for extramural funding assures that you will receive institutional approval to apply.
Eligibility to Apply for Extramurally Sponsored Research and Other Activities
Sponsors generally make funds available for a specific purposes or objectives and define eligible applicants from whom they will accept applications. The Research Foundation is a private, non-profit agency that applies for funds on behalf of Upstate, an educational institution. PI/PDs may be required to have faculty status at, above or below a specific rank, be within a specific number of years of having received their degree, status as an independent researcher or faculty appointment, or be a member of a specific class, group or population. The Sponsored Programs Office can assist PI/PDs to determine if they and the Research Foundation, on behalf of Upstate, are eligible applicants for funding.
Proposals for sponsored programs to be administered by the Research Foundation, where Upstate Medical University personnel will serve as PI/PD require that the applicant or co-applicant:
- Hold an academic or qualified academic title or clinical faculty status in an academic department, or
- Hold a staff appointment and have permission of the supervisor and the appropriate Vice President, or
- Be a full-time graduate student and have the explicit endorsement of a member of the faculty and the Vice Provost for Research.
Persons or organizations affiliated with Upstate not meeting one of the criteria stated above and wishing to submit proposals through the Research Foundation may be granted the privilege only upon the recommendation of the appropriate academic or administrative officer . The approval of the Vice Provost for Research is required.
Submitting an Application for Extramural Support of Research and Related Activities
The Sponsored Programs Office, on behalf of the Research Foundation, shall file all applications for sponsored programs on behalf of eligible individuals when use of Upstate or Research Foundation personnel or facilities is anticipated, whether on or off campus. All applications must bear the specific endorsement of the Upstate President or his designee.
Applications for sponsored programs must be reviewed by the Sponsored Programs office and approved by the Vice Provost for Research prior to submission. Reviews are conducted to insure that an application's objectives fall within the general policy of the campus, the Research Foundation, the sponsor, and other regulations to which Upstate is subject and to insure that budgets accurately reflect wage/benefit rates, institutional indirect cost rates, if applicable, and the costs of conducting the project.
Another campus agency may be designated to represent Upstate, in whose name an application may be made, provided such designation does not conflict with the requirements stated above.
All applications for extramural support as described above must be submitted
to the Sponsored Programs Office for review and approval at least five
(5) working days prior to submission. All applications must be submitted
under cover of a completed Upstate Medical University College
Face Sheet.  text
Acceptance of Extramural Support for Research and Related Activitie
Any award from an external sponsor in support of activities of an eligible individual shall be accepted by the Research Foundation on behalf of Upstate or agencies authorized to act in the name of Upstate, and such acceptance will require the endorsement of the President or his designee.
All notices of awards of external funds must be sent to the Office of Research Administration, which will review them for consistency with institutional purposes and regulations. The Vice Provost for Research or his designee, in consultation with the Vice President for Finance and Management, or his designee, will determine the appropriate agency to act as administrator for such funds.
Administration of Extramural Awards for Research and Related Activities
The Research Foundation is the officially designated organization that serves as administrator of research, research-related programs, training and technical assistance activities for and in conjunction with Upstate, regardless of source of funding. Other agencies, such as the Upstate Foundation and the Faculty Student Association, may act as administering agents for external funds for certain types of Upstate-related activities. The use of such agencies shall be consistent with the SUNY and State regulations governing them. The Vice Provost for Research in consultation with the Vice President for Finance and Management will make the appropriate designation.
Extramural sponsors generally require periodic fiscal and/or program reports. PI/PDs are expected to maintain program and fiscal records in and monitor activities and expenditures to assure that program activities are carried out; that extramural funds are expended within time limitations on eligible activities; that research and related programs expenditures do not exceed extramural and, if appropriate, institutional funds allocated for the project; and that any unused funds are turned back to the sponsor, if required. The Sponsored Programs Office will notify PI/PDs in advance of deadlines for submission of program reports. The Upstate Research Accounting Department will prepare and submit all required fiscal expenditure reports.
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